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Table of Contents CHAPTER 12: RECORDS AND REPORTS 1200 GENERAL 1201 CPE REPORTS 1201-1 GENERAL 1201-2 ITEM/SUBITEM REPORTS 1201-3 STRUCTURE REPORT 1201-4 FORCE ACCOUNT REPORTS 1201-5 CHANGE ORDER/MINOR ALTERATION 1201-6 MONTHLY ESTIMATE 1201-7 FINAL BALANCE REPORT 1201-8 TRANSACTION DETAIL LOG 1201-9 AUDIT LOG 1202 NOTICE OF START AND COMPLETION OF PROJECT 1203 SUSPENSION OF WORK 1204 WEEKLY TIME REPORTS 1204-1 GENERAL 1204-2 WORKING DAY CONTRACTS 1204-3 CALENDAR DAY CONTRACTS 1204-4 FIXED-DATE CONTRACTS 1205 TIME EXTENSIONS 1206 PLANS AND SPECIAL PROVISIONS REVIEW 1207 FINAL RECORDS AND REPORTS (PROJECT CLOSE-OUT) 1207-1 FIELD RED-LINE DRAWINGS 1207-2 MATERIALS SAMPLE CHECKLIST 1208 CLOSE-OUT OF CONSULTANT AND LOCAL GOVT. PROJECTS 1209 DISPOSITION OF RECORDS 1210 LABOR COMPLIANCE FOR FEDERAL AID PROJECTS 1210-1 GENERAL 1210-2 FEDERAL LABOR ACTS 1210-3 CERTIFIED PAYROLL PROCEDURES IN LCPTRACKER 1210-4 APPRENTICE AND TRAINEE DOCUMENTATION 1210-5 FRINGE BENEFITS 1210-6 SPECIFIC FRINGE BENEFITS 1210-7 OVERTIME, FRINGE BENEFITS AND ZONE PAY 1210-8 BACK WAGE PAYMENTS 1210-9 CONTRACTOR EMPLOYEE INTERVIEWS 1210-10 SITE OF WORK, TRUCK DRIVERS AND HAULING 1210-11 DOCUMENTATION REQUIRED FOR PROOF OF OWNER-OPERATOR 1211 MISCELLANEOUS COMPLIANCE FOR ADOT PROJECTS 1211-1 SUBLETTING THE CONTRACT 1211-3 HAULING ONLY 1211-5 LOWER-TIER SUBCONTRACTORS 1211-6 SUBCONTRACTOR VERSUS SUPPLIER 1211-7 CONTRACTOR VERSUS SUBCONTRACTOR 1211-8 UNAUTHORIZED SUBCONTRACTORS 1211-9 AUTHORIZED SIGNATURE FORM 1211-10 RELEASE OF RETENTION Page 1 of 2

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Page 1: Table of Contents...Resume Work Orders are issued when the work is 100% resumed. The Resident Engineer shall keep a copy of all Stop Work Orders in the project file for documentation

Table of Contents CHAPTER 12: RECORDS AND REPORTS

1200 GENERAL 1201 CPE REPORTS 1201-1 GENERAL 1201-2 ITEM/SUBITEM REPORTS 1201-3 STRUCTURE REPORT 1201-4 FORCE ACCOUNT REPORTS 1201-5 CHANGE ORDER/MINOR ALTERATION 1201-6 MONTHLY ESTIMATE 1201-7 FINAL BALANCE REPORT 1201-8 TRANSACTION DETAIL LOG 1201-9 AUDIT LOG 1202 NOTICE OF START AND COMPLETION OF PROJECT 1203 SUSPENSION OF WORK 1204 WEEKLY TIME REPORTS 1204-1 GENERAL 1204-2 WORKING DAY CONTRACTS 1204-3 CALENDAR DAY CONTRACTS 1204-4 FIXED-DATE CONTRACTS 1205 TIME EXTENSIONS 1206 PLANS AND SPECIAL PROVISIONS REVIEW 1207 FINAL RECORDS AND REPORTS (PROJECT CLOSE-OUT) 1207-1 FIELD RED-LINE DRAWINGS 1207-2 MATERIALS SAMPLE CHECKLIST 1208 CLOSE-OUT OF CONSULTANT AND LOCAL GOVT. PROJECTS 1209 DISPOSITION OF RECORDS 1210 LABOR COMPLIANCE FOR FEDERAL AID PROJECTS 1210-1 GENERAL 1210-2 FEDERAL LABOR ACTS 1210-3 CERTIFIED PAYROLL PROCEDURES IN LCPTRACKER 1210-4 APPRENTICE AND TRAINEE DOCUMENTATION 1210-5 FRINGE BENEFITS 1210-6 SPECIFIC FRINGE BENEFITS 1210-7 OVERTIME, FRINGE BENEFITS AND ZONE PAY 1210-8 BACK WAGE PAYMENTS 1210-9 CONTRACTOR EMPLOYEE INTERVIEWS 1210-10 SITE OF WORK, TRUCK DRIVERS AND HAULING 1210-11 DOCUMENTATION REQUIRED FOR PROOF OF OWNER-OPERATOR 1211 MISCELLANEOUS COMPLIANCE FOR ADOT PROJECTS 1211-1 SUBLETTING THE CONTRACT 1211-3 HAULING ONLY 1211-5 LOWER-TIER SUBCONTRACTORS 1211-6 SUBCONTRACTOR VERSUS SUPPLIER 1211-7 CONTRACTOR VERSUS SUBCONTRACTOR 1211-8 UNAUTHORIZED SUBCONTRACTORS 1211-9 AUTHORIZED SIGNATURE FORM 1211-10 RELEASE OF RETENTION

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RECORDS AND REPORTS November 2015

1200 GENERAL This chapter provides guidelines for preparing Department records and reports during the administration of a typical highway construction project. It is intended to clarify and supplement the information provided in the standard specifications and the special provisions for each project.

It is recommended that a file index be kept at all field offices if the standard ADOT filing system (FUSS) is not being used.

Construction Manual 1200 - 1

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RECORDS AND REPORTS November 2015

1201 CPE REPORTS

1201-1 General

The Construction Progress Estimates (CPE) computer program provides automated office logs for each project administered by the ORG. Supplemental agreements, contract item quantities, and time charges are entered into the CPE project records. The CPE program adjusts the contract total as required, calculates accumulated project costs, and tracks contract time.

The program provides several different kinds of reports to help the Resident Engineer monitor the progress of the project. The Resident Engineer should become familiar with the CPE program and its reporting capabilities.

For details on operating the CPE program, refer to the CPE User Guide. Training is also offered by ITD Technical Training, Course TCH 3041. Self-enrollment is available at http://adotnet/Training/ITD_Technical/Schedules.asp

1201-2 Item/Subitem Reports

The Item/Subitem Report is a basic status report for a single item or a range of items. It includes the plans quantity, the revised quantity, the accumulated quantity, accumulated amount, the percent complete, history of partial payments, status of subitems including accumulated quantity, percent complete of each subitem and a list of transactions for the specified subitems. Each listed transaction shows the date, the quantity posted, the Inspector's name, diary number and any comments entered when the quantity was posted. See Exhibit 1201-1 Item/Subitem Report.

Construction Manual 1201 - 1

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RECORDS AND REPORTS November 2015

Exhibit 1201-1 Item/Subitem Report

Construction Manual 1201 - 2

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RECORDS AND REPORTS November 2015

1201-3 Structure Report

The Resident Engineer and Project Supervisor may choose to establish CPE Structures on a project. Structures are groups of related items linked together for reporting purposes. Structures, in this sense, have nothing to do with payment or with Lump Sum Structures; the term "structure" is used here to indicate a way of organizing information.

When a CPE Structure is established in the CPE program, related items that are part of a larger unit are linked together for reporting purposes. Using a large roadway sign as an example, the office can create a Structure by establishing common subitems in the items for Foundations, Vertical Supports, Cantilevers, Posts and Sign Panels. Then, by producing a Structure Report for that Structure, the Inspector can monitor the progress of each roadway sign. See Exhibit 1201-2 Structure Report for an example.

The extra effort required to establish Structures at the beginning of the project often pays off in the increased quality of reporting and the reduction of errors.

1201-4 Force Account Reports

For a full discussion of Force Accounts, see Standard Specifications Section 109.04, and Construction Manual Chapter I. See Exhibit 1201-3 Force Account Report for an example.

1201.05 Change Order/Minor Alteration

For a full discussion of Change Orders and Minor Alterations, see Standard Specifications Section 109.04, and Construction Manual Chapter I.

1201.06 Monthly Estimate

The CPE monthly estimate report calculates the amount due to the Contractor for completed work. At the end of each month, the office prints a hard copy of the estimate for the Resident Engineer’s signature before transmitting it electronically to Field Reports. After the Resident Engineer approves the estimate and signs the first sheet of the hard copy (the Transmittal Sheet), the estimate is filed in the project file. A copy of the signed monthly estimate is given to the prime Contractor for their records.

1201.07 Final Balance Report

The Final Balance Report is a final accounting of contract items, prepared at the end of the project.

Construction Manual 1201 - 3

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RECORDS AND REPORTS November 2015

Exhibit 1201-2 Structure Report

Construction Manual 1201 - 4

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RECORDS AND REPORTS November 2015

Exhibit 1201-3 Force Account Report

Construction Manual 1201 - 5

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1201-8 Transaction Detail Log

The Transaction Detail Log is one of the most important and useful CPE reports. It provides a comprehensive overview of the entire project by listing, time used, and every item, subitem and individual transaction. See Exhibit 1201-4 Transaction Detail Report (Project/Section Summary), Exhibit 1201-5 Transaction Detail Report (Time), and Exhibit 1201-6 Transaction Detail Report (Section/Item) for examples.

The Transaction Detail Log is useful as a reference when checking the final quantities at the end of the project.

1201-9 Audit Log

The Audit Log is identical to the Transaction Detail Log, with one important modification: the Audit Log prints the posting date for each transaction. That is, not only does the Audit Log list the date of the Daily Diary for each posted quantity, it also prints the date on which the office posted the quantity. See Exhibit 1201-7 Transaction Detail Report (Audit Log) for an example. Auditors use this information to clarify the order and timing of payments.

The office usually only prints an Audit Log as requested by an auditor during a review of the project records.

Construction Manual 1201-6

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RECORDS AND REPORTS November 2015

Exhibit 1201-4 Transaction Detail Report (Project/Section Summary)

Construction Manual 1201-7

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RECORDS AND REPORTS November 2015

Exhibit 1201-5 Transaction Detail Report (Time)

Construction Manual 1201-8

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RECORDS AND REPORTS November 2015

Exhibit 1201-6 Transaction Detail Report (Section/Item)

Construction Manual 1201-9

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RECORDS AND REPORTS November 2015

Exhibit 1201-7 Transaction Detail Report (Audit Log)

Construction Manual 1201-10

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RECORDS AND REPORTS November 2019

1202 NOTICE OF START AND COMPLETION OF PROJECT

Upon starting or completing a construction project, the Resident Engineer shall notify both Field Reports and the District Engineer, of the date work started or completed. The Start and Substantial Completion Memo is to be e-mailed to the Field Reports – CPE e-mail account (See Exhibit 1202-1 Start and Substantial Completion Memo). A template of the Memo and instructions on the process can be found on the Resident Engineers website under Forms. On Federal Aid and non-Federal projects the subcontractors start and complete work dates must be input on the Contract Card System for all Subcontractors. The Inspector should document in his diary when the Contractor and Subcontractors begin and complete work.

Additionally, the construction unit shall prepare a Final Acceptance letter for the District Engineers signature (See Exhibit 1202-2 Final Acceptance Letter). Ensure that the courtesy copy designations are noted and also the personalized second paragraph is included to thank the contractor for their efforts. All physical work must have been completed on that date (i.e., punch lists, de-mobilization, and all contract work). Should the contractor complete a portion of the project and request partial acceptance of this work in accordance with 105.20(A), the RE shall disapprove this request in writing. See Construction Bulletin 15-04.

Construction Manual 1202 - 1

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RECORDS AND REPORTS October 2016

Exhibit 1202-1 Start and Substantial Completion Memo

Construction Manual 1202 - 2

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RECORDS AND REPORTS October 2016

Exhibit 1202-2 Final Acceptance Letter

Construction Manual 1202 - 3

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1203 SUSPENSION OF WORK

Section 105.02 of the Standard Specifications gives the Resident Engineer the authority to suspend the work in whole or in part, and lists conditions which might justify a suspension. Additional information and circumstances are in Section 108.08 of this manual.

The Resident Engineer may use a Stop Work Order to suspend the work, either partially or fully (Exhibit 1203-1 Stop Work Order). The Stop Work Order should be specific as to which items of work are being suspended. Stop Work Orders are numbered sequentially, beginning with Number 1. Any subsequent Stop Work Orders related to the same time period shall bear the same number, using a letter suffix (e.g., 1-A, 1-B) to indicate that the Stop Work Orders are simultaneous. Stop Work Orders have serious consequences and should be utilized only when absolutely necessary as delays to the Contractor’s operations are potentially very costly.

A project may be partially resumed without having to issue a Resume Work Order (Exhibit 1203-2 Resume Work Order). Resume Work Orders are issued when the work is 100% resumed.

The Resident Engineer shall keep a copy of all Stop Work Orders in the project file for documentation purposes and a copy must be sent to Field Reports.

Construction Manual 1203 - 1

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RECORDS AND REPORTS November 2015

Exhibit 1203-1 Stop Work Order

Construction Manual 1203 - 2

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RECORDS AND REPORTS November 2015

Exhibit 1203-2 Resume Work Order

Construction Manual 1203 - 3

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RECORDS AND REPORTS November 2015

1204 WEEKLY TIME REPORTS

1204-1 General

Weekly Time Reports provide an accounting of contract time used and contract time remaining. The Unit office generates Weekly Time Reports using the CPE computer program (See Exhibit 1204-1 Weekly Time Report – Working Days and Exhibit 1204-2 Weekly Time Reports – Calendar Days). The Project Supervisor informs the office staff of the number of days to be charged each week and then enters this information into the computer to generate the report.

The original Weekly Time Report is signed by the Resident Engineer and sent to the Contractor to ensure that there is agreement regarding the contract time charges. The Contractor has one week after receiving the report to protest the time charges.

A copy of the first Weekly Time Report must be submitted to Field Reports within a week of the actual start of work. Also, a copy of the FINAL Weekly Time Report must be submitted to Field Reports when the project is completed or the time is no longer being charged to the project.

Weekly Time Reports commence on the official contract start date, determined in accordance with Standard Specification 108.02, or when the physical work starts, whichever comes first. Contract time is charged on the official contract start date as noted on the Award Letter.

"Zero" time reports are produced when there is no time charged during a given week, except in the case of extended periods of time such as seasonal shutdowns. A seasonal shutdown is noted in the remarks section of the last Weekly Time Report, and the numbering sequence is continued when the reports are resumed. Notify Field Reports of seasonal shut-down via E-mail.

When the project is accepted as substantially complete, time charges stop and the Final Weekly Time Report must be submitted to Field Reports. Copies of the first and final Time Report for all phases should be sent to Field Reports.

1204-2 Working Day Contracts

Contractors are normally charged five days per week (every week day) regardless of the number of hours or days worked. Any Saturday, Sunday, or State recognized holiday on which the contractor has been approved to work will also be counted as a working day. Refer to Construction Bulletin 14-02 for specifics.

Working days on which weather conditions do not permit work on the project to proceed, as determined by the Engineer, will not be charged.

Since weather days are not charged, the contract time is automatically extended for weather without requiring a formal time extension. The Weekly Time Report also eliminates the need for weather-related Stop and Resume Work Orders, except for long periods of interruption in the work such as winter shutdowns, which still require a Stop and Resume Work Order with a copy sent to Field Reports.

Construction Manual 1204 - 1

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RECORDS AND REPORTS November 2015

Exhibit 1204-1 Weekly Time Report (Working Days)

Construction Manual 1204 - 2

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RECORDS AND REPORTS September 2015

Exhibit 1204-2 Weekly Time Report (Calendar Days)

Construction Manual 1204 - 3

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RECORDS AND REPORTS September 2015

1204-3 Calendar Day Contracts

A calendar day contract specifies the number of calendar days allowed for the work. Every calendar day (including weekends, holidays, and inclement weather) is charged on the Weekly Time Report, whether the Contractor works or not, unless the Resident Engineer has suspended work by a Stop Work Order. On special occasions, when the Resident Engineer wants the Contractor to stop working, he may do it by stopping the contract time.

1204-4 Fixed-Date Contracts

A Fixed Date contract specifies the contract completion date. This date shall be the date on which all work on the project is required to be substantially completed.

For Fixed Date contracts, time reports need to be completed to maintain internal records for days used.

Construction Manual 1204 - 4

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1205 TIME EXTENSIONS

ADOT form, "Request for Extension of Time," is used to obtain an extension of contract time (See Exhibit 108.08-1 Request for an Extension of Contract Time). Either the Resident Engineer or the Contractor can initiate a request for a time extension. If you have an alternative project either Design-Build or Contract Management At Risk (CMAR) a Contract Modification Request Form is required (See Exhibit 108.08-2 Contract Modification Request Form). See Construction Bulletin 13-06 and/or Construction Bulletin 10-01 for more details. All requests for extension of time must be processed through a change order via SATS).

On calendar day contracts, the Resident Engineer may initiate a request for a time extension if he has suspended work for reasons beyond the Contractor's control. The Resident Engineer prepares a request for extension of time using the information contained in the related Stop and Resume Work Orders.

The Contractor may also initiate a Request for Extension of Time, for various reasons. See Section 104.02 and Section 108.08 of the Standard Specifications for justification of an extension.

The Contractor submits a request form explaining the reason for the request, accompanied by a revised construction schedule and any other pertinent supporting information. The request should show the number of days lost for each reason given and identify a new completion date on fixed date contracts. The Resident Engineer analyzes the request and decides whether or not to recommend the time extension, bearing in mind that any days already granted to the Contractor on a Weekly Time Report are not to be duplicated on the request for a time extension. The Engineer's recommendations should be detailed and complete, since they are used by others to evaluate the Contractor's request.

The Resident Engineer prepares a change order in SATS in order to process the time extension. The time extension is inputted in SATS during the entry of the change order. The author must enter the Time Extension Request No., DE Signature Date, and Comments. The Resident Engineer forwards the change order, time extension and all back up to the District Engineer for signature. A complete copy is forwarded to Field Reports for approval. If approved, Field Reports will sign the change order and return a signed copy to the Unit for project file however if your project is full oversight Field Reports then forwards two complete copies of the change order, time extension and back up to the FHWA for final approval prior to returning signed copy to the Unit. The Unit logs the approvals in SATS as the change order goes through the approval process. After all required approvals are entered the time extension registers in Contract Card, CPE and Weekly Time Reports.

Construction Manual 1205 - 1

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RECORDS AND REPORTS November 2015

1206 PLANS AND SPECIAL PROVISIONS REVIEW

The Resident Engineer shall complete a “Project Plan and Specifications Review Form”. The purpose of this form is to capture potential improvements in contract documents for future construction projects by providing feedback to the various project development groups based upon specific issues that have surfaced on current projects. Examples include:

1. Constructability issues include items that may be difficult to construct where an alternate design oradditional information may be appropriate.

2. Clarification of project documents such as plans, Special Provisions, Standard Specifications, andStandard Drawings.

3. Minor modifications that are not dealt with by a Supplemental Agreement. Issues dealt with by aSupplemental Agreement do not need to be entered on this form as they will be captured elsewhere.

The Resident Engineer should be thorough and candid in his appraisal of the contract documents. This review process can help to improve the documents prepared by the Department and Consultants.

The “Project Plan and Specifications Review Form” is to be completed on an as needed basis. As soon as an issue arises, email the form to the Value and Quality Assurance Section Manager or send it to Mail Drop 173A.

Construction Manual 1206 - 1

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1207 FINAL RECORDS AND REPORTS (PROJECT CLOSE-OUT)

1207-1 Field Red-Line Drawings/Record Drawings

In order to provide an accurate permanent record of actual placement of features for maintenance and future development, the Resident Engineer (RE) should promptly record (manually or electronically) any physical modifications to the original design as construction progresses. It is recommended that the field office identify a single drawing set to be used for Red-Lines prior to the start of construction.

The Red-Line Drawings are utilized to create the Record Drawings. Prior to their preparation, the RE should coordinate method and format with the Record Drawings Designer. The ADOT Project Manager (PM) can furnish contact information for the Record Drawings Designer. The Statewide Project Management website provides additional information on this process. Red-Lines should be drawn accurately and to scale, with all necessary explanatory and reference information noted. They shall include all changes from the As-Bid documents: all permit work; all extra work; all deleted work; supplemental agreements; addendums; field adjustments; RFIs; and discovered, relocated or abandoned utilities.

Underground communications systems, electrical, or utility information must be included by providing accurate locations on the Record Drawings. Special emphasis should be given to the location of any cables or equipment installed in a manner other than that specified by standard placement conventions. The Contractor should supply the Record Drawings survey information.

Within 45 days of the project’s final acceptance (including Consultant, internal ADOT or Local Government administered projects), the RE shall assemble the final Red-Line Drawings and transmit them to the Record Drawings Designer. Prior to transmitting, the RE is to complete the Field Red-Lines Quantlist (available on the ADOT Quantlist Application). Additionally, project information needs to be completed on the Plans Face Sheet, which has been modified to provide fields for “Constructed by” – “Record Drawings by” – and “Record Drawings by”. If the Plans Face Sheet does not contain those fields, the RE should request the Record Drawings Designer to provide a new Plans Face Sheet with those fields imprinted. The RE is required to fill out the “Constructed by” and “Red-Lines Completed by” portions. Note that the RE signs where the form calls for the “Construction Administrator”.

When the RE transmits the completed Red-Line Drawings to the Record Drawings Designer the RE e-mails both the ADOT PM and Field Reports Section and advises them of the date. Field Reports will enter the date into the Field Office Automation System (FAST) to be reflected on the Contract Card. The Record Drawings Designer must complete the Record Drawings in a maximum of 60 days from the date the Field Red-Line Plans are received. The RE may also be requested by the ADOT PM to complete the Record Drawing Preparation Estimate form (See Exhibit 1207-1 Record Drawings Preparation Estimate). This form is used as a tool for the PM to verify reasonableness of the Record Drawings Designer’s cost to prepare and submit Record Drawings.

Once the Designer has transferred all Red-Lines onto the final Record Drawings set, the Designer will return the set – both pdf and 11”x17” hard copies – to the RE (along with the RE’s original Red-Line Drawings) for final review. Itis the RE’s responsibility to confirm that all modifications have been integrated into the Record Drawings. The RE must complete the review within five working days.

Upon acceptance by the RE, the RE will notify the ADOT PM, the Record Drawings Designer and the Statewide Project Management Transportation Engineering Specialist (SWPMTES) via e-mail that the Record Drawings are complete and approved. The RE will also instruct the Record Drawings Designer to send the approved Record Drawings to the SWMPTES. Prior to transmittal, the “Record Drawings Completed by” portion of the Plans Face Sheet will be filled in by the Record Drawings Designer to document the acceptance.

If the Record Drawings deliverables contain corrupt or unreadable file(s), the SWMPTES will request delivery of a

Construction Manual 1207 - 1

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RECORDS AND REPORTS November 2015

new file from the Record Drawings Designer and e-mail the PM and RE of the discrepancy. After the SWPMTES determines the Record Drawings are readable, the information will be loaded into the ADOT Information Data Warehouse (AIDW), which generates a notice to Field Reports (as well as to the RE and PM) for entry into the FAST system to record the completion date on the Contract Card.

The SWPMTES then sends the Record Drawings set to Engineering Records and e-mails the PM, RE and Record Drawings Designer, informing them of the delivery. A flowchart (See Exhibit 1207-2 Red-Line Drawings/Record Drawings Flowchart) illustrates an overview of the process.

Construction Manual 1207 - 2

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RECORDS AND REPORTS November 2015

Exhibit 1207-1 Record Drawings Preparation Estimate

Construction Manual 1207 - 3

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RECORDS AND REPORTS November 2015

Exhibit 1207-2 Red-Line Drawings/Record Drawings Flowchart

Construction Manual 1207 - 4

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RECORDS AND REPORTS November 2015

1207-2 Materials Sample Checklist

After receiving the advertisement for a project from Contracts and Specifications, the Value and Quality Assurance Section develops a Materials Sample Checklist (Exhibit 1207-3 a,b,c,d) specifying the required number of samples for each type of project material which requires sampling and testing. The specified number of samples and tests are a minimum and are based on the plan quantities. The checklist derives the required number of samples from the “Materials Quality Assurance Program” Sampling Guide Schedule.

The project’s Lab Coordinator is responsible to assure that all materials used on the project that require sampling and testing are listed on the Materials Sample Checklist. Additionally, it is the responsibility of the Lab Coordinator to assure that the appropriate number of samples and tests are obtained throughout the project, based on varying quantities for each type of project material. Upon completion of the project, the Lab Coordinator finalizes the Materials Sample Checklist and submits it to the Resident Engineer for review and signature. The Resident Engineer submits the original signed checklist to the Regional Materials Engineer for review and to provide a statement regarding any exceptions for the project.

The Regional Materials Engineer then attaches a signed materials certification letter stating the adequacy of the Independent Assurance and Correlation Sampling and Testing Programs for the project. All original documents then go to the District Engineer, who signs the materials certification letter and forwards all original documents to the Construction and Materials Group. After reviewing the materials sample checklist and all related documents, the Assistant State Construction and Materials Engineer submits the final certification of materials to the FHWA. It is recommended that the Resident Engineer keep a copy of the materials sample checklist in the project files.

For further information refer to ADOT Materials Testing Manual, Series 900, Materials Quality Assurance Program. Then select the “QA Program” next to the “Materials Quality Assurance Program”.

Construction Manual 1207 - 5

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RECORDS AND REPORTS November 2015

Exhibit 1207-3a Materials Sample Checklist

Construction Manual 1207 - 6

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RECORDS AND REPORTS November 2015

Exhibit 1207-3b Materials Sample Checklist

Construction Manual 1207 - 7

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RECORDS AND REPORTS November 2015

Exhibit 1207-3c Materials Sample Checklist

Construction Manual 1207 - 8

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RECORDS AND REPORTS November 2015

Exhibit 1207-3d Materials Sample Checklist

Construction Manual 1207 - 9

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1208 CLOSE-OUT OF CONSULTANT AND LOCAL GOVT. PROJECTS

When closing out a project administered by a Consultant or a Local Government, the Resident Engineer shall ensure that the close-out procedures outlined above for ADOT administered projects are followed. The Resident Engineer should also refer to the “Consultant Construction Management Manual” for additional guidelines.

At the end of the project, Consultants and Local Governments are required to return all Department property, project records, computer programs, and purchased equipment and materials. Warranty information and operations manuals should also be supplied when appropriate. The ADOT Project Monitor must check the quantity and quality of the transferred materials and records before allowing final payment to the consultant.

The Project Monitor should keep in mind that some materials may be of little value, disposable or depreciated below salvage range.

The Project Monitor (or the Resident Engineer) shall complete the Consultant Rating Forms, and check the contract documents for any other final requirements.

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1209 DISPOSITION OF RECORDS

Once final payment is made to the Contractor, the ORG staff shall carefully pack all project records in boxes and store them at the District Office. As the boxes are being packed, the following information should be noted on the outside of the box:

1. Project name2. Project number3. TRACS number4. Completion date5. Resident Engineer6. A list of the contents of the box.

Survey books should be submitted separately to the District.

Project records are kept in the records storage area in accordance with ADOT M-MGT-9.03 Records Destruction Procedure.

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1210 LABOR COMPLIANCE FOR FEDERAL AID PROJECTS

1210-1 General

ADOT is responsible for enforcing the required contract provisions for Federal Aid Construction Contracts. The responsibility for the inspection and enforcement of labor standards rests mainly with the Resident Engineer. It is to the Resident Engineer’s advantage to resolve any questions that may arise as promptly as possible. The Resident Engineer is expected to be familiar with and able to answer inquiries regarding the Federal Aid contract provisions.

Questions regarding Labor Compliance regulations should be directed to:

ARIZONA DEPARTMENT OF TRANSPORTATION FIELD REPORTS SECTION 206 South 17th Avenue, Room 184, Mail Drop 133A Phoenix, AZ 85007 Phone (602) 712-7301; FAX (602) 712-3067

1210-2 Federal Labor Acts

Davis-Bacon Act of 1931 and Davis-Bacon and Related Acts (DBRA)

All laborers and mechanics working on the construction project are required to be paid unconditionally, and not less than once a week, the wage rates contained in the wage decision incorporated into the contract.

The term "laborer" or "mechanic" include those workers whose duties are manual or physical in nature (who use tools or who are performing work of a trade), as distinguished from mental or managerial. The term includes apprentices, trainees, watchmen or guards. The term does not apply to workers whose duties are primarily administrative, executive, or clerical, rather than manual.

Laborers and mechanics must be properly classified and paid according to work actually performed. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein – provided the employer’s certified payroll reports (CPR) accurately set forth the time spent in each classification.

The wage decision and all approved conformed classifications shall be posted at all times at the site of work in a prominent and accessible place where it can be easily seen by all employees.

The Contract Work Hours and Safety Standards Act (CWHSSA) of 1969

This Act contains weekly overtime pay requirements and applies to contracts which may require or involve the employment of laborers or mechanics, including watchmen and guards. This Act applies to federally funded construction projects in excess of $100,000 and also extends to federally-assisted contracts subject to Davis-Bacon and Related Acts (DBRA) wage standards to which the Federal Government is not a direct party.

CWHSSA requires that laborers and mechanics employed on covered contracts be paid not less than one and one-half times their basic hourly rate of pay for hours worked in excess of forty hours in a work week. It also provides for liquidated damages in the sum of $10 for each calendar day (with respect to each employee violation) where an employee was required or permitted to work overtime hours without the payment of overtime wages required by CWHSSA. The Act also provides health and safety standards on covered construction work which are administered by Occupational Safety & Health Administration (OSHA).

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The Copeland “Anti-Kickback” Act of 1934

1. Compliance required with the Copeland Act, or “Anti-Kickback Act.”• The contractor and subcontractor must submit a weekly statement of wages paid to each

employee for work performed in the preceding payroll period• Employees must receive the full pay to which they are entitled to for the work performed• Employees must be paid on a weekly basis

2. The certified payroll reports shall contain:• Employee name and address• Correct classification and rate of pay• Daily and weekly number of hours worked• Deductions made and actual wages paid

The willful falsification of a payroll report or “Statement of Compliance” may subject the employer to civil or criminal prosecution and may also be a cause for debarment.

1210-3 Certified Payroll Procedures in LCPtracker (Labor Compliance software)

1. The Resident Engineer’s field office staff must review the certified payroll reports after they are certifiedby the contractor or subcontractor.

2. When the field office staff discovers repeated violations of Davis-Bacon requirements by the contractoror subcontractor it is considered a non-performance issue.

3. If this pattern is pervasive the construction field office will proceed in the following manner:• Part or all of the monthly progress payments will be withheld until the contractor can

demonstrate compliance, per Subsection 109.06 and the contract Special Provisions• Written notification of discrepancies, along with an expected due date from the contractor, is

required. See Exhibit 1210-1 Delinquent Certified Payroll Letter.

Statement of Compliance

1. The Statement of Compliance is available for electronic signature after a contractor certifies the payrollrecord. See Exhibit 1210-2 Statement of Compliance.

2. If no work was performed, the contractor must submit a Statement of Compliance stating “NO WORKPERFORMED.”

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Exhibit 1210-1 Delinquent Certified Payroll Letter

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Exhibit 1210-2 Statement of Compliance

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Certified Payrolls in LCPtracker

1. Certified payroll reports shall be submitted to the Resident Engineer (via LCPtracker) each week, no later than seven days after the close of the previous work week.

2. Each certified payroll report will be submitted in chronological order, including the work weeks in which no work is performed.

3. Each employee must have a first and last name and employee identification number included on the certified payroll report.

4. Each craft/classification that the employee works in will be reported on the certified payroll report.

5. The basic hourly rate of pay and the subsequent fringe benefit amount included on the certified payroll report must be equal to or greater than the prevailing wage rates required by the applicable wage decision.

6. The certified payroll report entry for each employee must include all hours worked on the project subject to Davis-Bacon prevailing wages, gross pay for those hours worked and the gross pay earned for all hours worked in the work week.

7. The overtime rate paid must be included on the certified payroll report for all hours worked over 40 in any given work week. Fringe benefit amount due will not be included in the calculation of overtime pay, but will be paid for all hours worked in a given work week.

Wage decision prevailing wage

base fringe total overtime

$15.00 $5.00 $20.00 [$15.00 x 1.5] + $5.00 = $27.50

Contractor employee regular hourly rate of pay

base fringe total overtime

$20.00 $0.00 $20.00 $20.00 x 1.5 = $30.00

Contractor employee regular hourly rate with fringes paid to plan

base fringe total overtime

$14.50 $5.50 $20.00 [$14.50 x 1.5] + $5.50 = $27.25

8. Any deductions from the employee net or gross pay that are included in the “other deduction” field of the certified payroll report will be noted in the employee payroll record in the notes section at the bottom of the screen. The contractor must upload a copy of a signed Employee Authorization of Deduction form.

9. The fringe benefit portion of the prevailing wage that is paid to the employee in cash instead of contributed into a fringe fund, plan or program may be entered into the “Rate in Lieu of Fringe” field in the employee payroll record.

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10. The contractor will include those portions of the fringe benefit due the employees that are contributedinto funds, plan and programs on the employee’s behalf as “Fringe Contributions paid to others (not theemployee) for this project only.” The data will be reflected in the section of the certified payroll reportas “Deduction, Contribution and Payments”.

11. The apprenticeship certificate or trainee agreement must be uploaded by the contractor/subcontractorin the eDocuments field in LCPtracker. The contractor may not include an employee as an apprentice ortrainee on the certified payroll report until Field Reports has accepted the certificate/agreement andapproved the apprentice/trainee status of the employee in LCPtracker.

12. The contractor/subcontractor must denote that the last certified payroll report submitted is the “final”payroll.

13. The certified payroll must be reviewed by the field office staff for accuracy, compliance with theapplicable wage decision and the reporting requirements included in the Contract Special Provisions.

14. The information documented on the contractor employee interview form will be compared with theinformation included in the corresponding certified payroll reports. The field office staff will addressany issues found with the prime contractor. After all issues and discrepancies have been resolved, thefield office will upload the contractor employee interview forms into the LCPtracker eDocuments fieldand provide hard copies to Field Reports.

Revisions to Certified Payrolls

1. Each time a payroll report is rejected by the field office staff, the system opens a dialog box. The reasonfor the rejection should be included and saved in the dialog box. The system will generate and deliver anemail to the applicable contractor/subcontractor. The field office staff should notify the primecontractor when a subcontractor certified payroll report is rejected See Exhibit 1210-3 Rejected CPRNotice.

2. Request that the applicable contractor/subcontractor correct the certified payroll reports. Thecontractor/subcontractor must upload verification of restitution calculations and back wages paid to theunderpaid employees.

3. After revisions, provide the appropriate information in the Notes section at the bottom and recertify thepayroll.

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Exhibit 1210-3 Rejected CPR Notice

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1210-4 Apprentice and Trainee Documentation

Apprenticeship Programs:

1. Apprenticeship programs are regulated and approved by the Arizona Commerce Authority, the stateagency that has been delegated the authority by the U S Department of Labor.

2. Apprenticeship programs issue an “Apprenticeship Certificate” which has been approved by the ArizonaCommerce Authority to the laborers and mechanics that are enrolled in the approved programs.

3. The contractors who use apprentices as part of their work force will be responsible to submit thoseapproved apprenticeship certificates to ADOT prior to reporting the hours worked on a project subjectto Davis-Bacon prevailing wages.

4. The apprenticeship certificates will include:• The level of achievement of the apprentice• The approved program in which he is enrolled in• The approved apprentice to journeyman ratio that must be met on the project work site• Authorizing signatures from the apprenticeship program and the Arizona Apprenticeship Office• Certificate expiration date and the expected date of advancement of the apprentice

Training Programs:

1. Training Programs are developed by individual contractors and are regulated and approved by ADOT’sCivil Rights/Business Engagement & Compliance Office and the Regional Federal HighwaysAdministration Civil Rights Office.

2. Contractors issue a “Training Agreement” signed by the contractor training director and the employeewho is enrolled in the program.

3. The contractors who use trainees as part of their work force will be responsible to submit those signedtraining agreements to ADOT prior to reporting the hours worked on a project.

4. The training agreements will include:• The level of achievement of the trainee• The approved program in which he is enrolled• Expiration of the training agreement

1210-5 Fringe Benefits

• The Davis-Bacon Prevailing wage is made up of two interchangeable components - a basic hourly rateand a fringe benefit rate.

• The basic hourly rate and the fringe benefit rate listed on the wage decision may be paid entirely in cashwages.

• Contributions made or costs incurred by the contractor for bona fide fringe benefits may be creditabletowards fulfilling the requirement or;

• A combination of cash wages paid and bona fide fringe benefit contributions may be used together tomeet the total required prevailing wage. See Exhibit 1210-4 Fringe Plan Information Request Letter.

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Exhibit 1210-4 Fringe Plan Information Request Letter

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1210-6 Specific Fringe Benefits

1. The fringe benefit portion of the required prevailing wages must be paid to the employees for all hoursworked under a contract subject to Davis-Bacon.

2. Some of the most common types of fringe benefit plans that are accepted by the Department of Laboras “bona fide” are:

• Health, Dental and Vision Insurance• Pension• Life Insurance• Accident & Disability insurance• Sick Leave• Vacation and Holiday• Defrayment of costs of apprenticeship or other similar programs

3. If the contractor contributes all or some of the fringe benefit portion of the prevailing wage due theemployee into fringe benefit plans and applies those contributions to meet the required prevailingwage:

• The ADOT Field Reports Office sends the scripted request for information to the contractor• The information is forwarded to Field Reports for evaluation• Use the creditable amounts calculated by Field Reports, distributed as a fringe plan summary,

as a benchmark for evaluation of the certified payroll reports

1210-7 Overtime, Fringe Benefits and Zone Pay

Overtime is calculated at one and one-half times the basic rate of pay, plus the fringe benefit requirement for all hours in excess of 40 hours.

Example: Hourly Rate – $10.00 per hourFringe Benefit Rate – $ 3.00 per hourOvertime calculation is – [$10.00 x 1.5] + $3.00 = $18.00 per hour

If the project Wage Decision indicates an additional amount for Zone Pay, that amount is added to the basic rate of pay.

POWER EQUIPMENT OPERATOR 3 = WORKING IN ZONE 2 FRINGE PAID TO AN APPROVED PLAN

Basic Wage Rate + Zone Pay = Straight Time Rate of Pay $17.25 + $1.00 = $18.25

Basic Wage Rate + Zone Pay x 1.5 = Overtime Rate of Pay $17.25 + $1.00 x 1.5 = $27.38

POWER EQUIPMENT OPERATOR 3 = WORKING IN ZONE 2 FRINGES PAID IN CASH

Basic Wage Rate + Zone Pay + Fringe Rate = Straight Time Rate of Pay $17.25 + $1.00 + $3.53 = $21.78

Basic Wage Rate + Zone Pay x 1.5 + Fringe Rate = Overtime Rate of Pay $17.25 + $1.00 x 1.5 + $3.53 = $30.91

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1210-8 Back Wage Payments

When ADOT has determined that a contractor must pay compensation to employees that did not receive Davis-Bacon prevailing wages, there are two procedures. The back wage procedures differ depending on whether the contractor and employee are still working on the project or are no longer working on the project.

Back wage procedures when the Contractor & Employee are still working on the project: • The contractor may include the monies owed to the employee on a future payroll cycle.• The contractor will include the reason for the underpayment on the employee payroll record as an

“edit:” to the certified payroll report where the underpayment occurred.• The contractor will include the monies owed to the underpaid employee on a current certified payroll

report for all hours earned in that work week.• The contractor will include notes in the employee payroll record to explain the amount of restitution

and reference the certified payroll report number where the underpayment was originally made.• When underpayments have been made the contractor must upload verification of restitution

calculations and back wages paid to the underpaid employees working under the contract (i.e.,spreadsheet and cancelled paycheck or direct deposit record).

Back wage procedures when the contractor and employee are no longer working on the project: • The contractor shall issue paychecks to the underpaid employees for the restitution owed.• The paychecks must be written to “Employee Name or Unclaimed Property,” and will include

the employees last known address.• The contractor will provide the back wage checks to ADOT for distribution to the underpaid

employees.• When underpayments have been made the contractor must upload verification of restitution

calculations and back wages paid to underpaid employees working under the contract (i.e.spreadsheet and cancelled paycheck or direct deposit record).

1210-9 Contractor Employee Interviews

1. The Contract Special Provisions includes direction that the contracting agency must conduct contractoremployee interviews (English and Spanish) while the employees are working on the project site of work.The ADOT Inspectors are responsible for conducting the interviews and observing the interviewees asthey perform work on the project site. See Exhibit 1210-5 Employee Interview Form & 1210-6 EmployeeInterview Form (Spanish).

2. The interviews should be sufficient in number to establish a degree of adequacy and accuracy ofrecords. The interviews should be representative of all classifications of employees on the project worksite. The intent is to interview every employee at least once during the life of the project.

3. The inspector will include the tools and/or equipment used by the employee and the tasks that theemployee performs throughout the period of observation.

4. Employees should not be interviewed in the presence of other employees. The interviews areconfidential and are never shown to the contractor.

5. The inspector will submit the completed interview forms to the construction office staff and completethe Pen version of the interview form within the same week of the interview.

6. The construction field office staff will review the employee interview forms and compare theinformation to the applicable certified payroll report.

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7. If discrepancies exist between the interview form and the certified payroll, the construction field officestaff will work to resolve the differences. In cases where no classification on the assigned wage decisionfits the work being performed by an employee, a “Request for Authorization of Additional Classificationand Rate” (Conformance Request) should be submitted to the Construction Field Office for review.

8. When all payroll issues have been resolved, the construction field office staff will upload the employeeinterview forms into LCPtracker eDocuments and forward hardcopies to Field Reports within 2 weeks ofthe interview date.

9. If there are serious non-compliance issues, the Resident Engineer may contact Field Reports forassistance.

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Exhibit 1210-5 Employee Interview Form

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Exhibit 1210-6 Employee Interview Form (Spanish)

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1210-10 Site of Work, Truck Drivers and Hauling

Site of Work

1. Davis-Bacon and Related Acts (DBRA) apply to workers on the site of the work.

2. It is limited to the physical place or places where the construction remains after work has beencompleted.

3. Any other site where a significant portion of the building or work is constructed, provided such site isestablished specifically for the contract.

4. Site of the work includes fabrication plants, mobile factories, batch plants, borrow pits, tool yards,headquarters, etc. provided they meet the following requirements:

• Located adjacent or virtually adjacent to the site of the work described above and;• Dedicated exclusively to the performance of the contract or project.

Coverage of truck drivers under Davis-Bacon

1. Truck drivers are covered under these circumstances:• For time spent on the site of work;• Time spent loading and or unloading material on the site of work;• Transporting materials between a facility that is deemed part of the site of work and the

project site.

2. Truck drivers are not covered by Davis-Bacon in these circumstances:• Material delivery drivers while off of the site of work;• Drivers of a contractor or subcontractor while driving between a commercial facility and a site

of work covered by Davis-Bacon;• Drivers that spend limited time on the site of work for delivery or pick up of materials;• A bona fide owner operator must own and drive their own trucks. Certified payrolls are

required to show the name of the owner operator, but not wages paid or hours worked;• Overtime pay is required for truck drivers, regardless of whether the hours worked on the

contract are on or off the site of work.

The Department of Labor has an enforcement position with respect to bona fide owner-operators of trucks who are independent contractors (an owner operator is a person who owns and drives the same truck). Certified payrolls, including the names of such owner-operators, do not need to show the hours worked or rates paid, only the notation “owner-operator.” This position does not apply to owner-operators of other equipment (such as bulldozers, backhoes, cranes, welding machines, etc.).

ADOT does not require Owner-Operators to submit certified payrolls, only the completed Subcontract Request Form (SRF).

1210-11 Documentation Required for Proof of Owner-Operator

Owner-operators sign the Subcontract Request Form (SRF) certifying that they are a bona fide owner-operator. It is the prime contractor’s responsibility to verify current Commercial Driver’s License and valid registration.

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RECORDS AND REPORTS November 2016

1211 MISCELLANEOUS COMPLIANCE FOR ADOT PROJECTS

1211-1 Subletting the Contract

Section 108.01 of the 2008 Standard Specifications provides that the Contractor shall perform with his own organization, contract work amounting to not less than 40 percent of the original contract cost. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the Engineer or his authorized representative and such consent, when given, shall not be construed to relieve the Contractor of any responsibility for the fulfillment of the contract.

A written request to subcontract portions of the work and a signed and executed copy of the Subcontractor Request Form (SRF), along with the required attachments shall be made to the Resident Engineer and approved by the Construction & Materials State Engineer, prior to the performance of any work by the proposed Subcontractor.

The SRF needs to contain the contract items to be sublet, with quantity, unit bid price and monetary amount for each. If the item is to be partially subcontracted, it should be noted as such (i.e., place only, haul only, etc.). Any contractual agreements between the Contractor and the Subcontractors covering contract items of work will be counted towards the permissible amount of subcontract work.

Subcontractor Request Form (SRF) Approval

The Subcontractor Request Form (SRF) is a streamline form to use in requesting approval for subcontractors. This form will save time, eliminate excessive paper and ensure the subcontractor receives all the necessary documents. The SRF and instructions are available on the Contractors Information web page. See Exhibit 1211-1 Subcontractor Request Form (SRF) and Exhibit 1211-2 Subcontractor Request Form Instructions. NOTE: There is a separate SRF and Instructions to be used specifically for Procurement Projects.

For all Federal Aid contracts with DBE goals, the Contractor's "DBE Intended Participation Affidavit" is a condition of award. In accordance with the Special Provisions, the Contractor is required to submit copies of legally binding agreements with the DBE indicated on the affidavit at the preconstruction conference. The agreements may be purchase orders, subcontracts, or any other form of agreement. Approval for DBE Subcontractors will be considered prior to other Subcontractors.

1211-3 Hauling Only

Unless the hauling is by the commercial supplier/entity or offsite material production plant, trucking companies are to be authorized as Subcontractors.

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Exhibit 1211-1 Subcontractor Request Form (SRF)

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Exhibit 1211-2a Subcontractor Request Form Instructions

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Exhibit 1211-2b Subcontractor Request Form Instructions

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1211-5 Lower-Tier Subcontractors

Approved Subcontractors will be allowed to sublet any part of the assigned work to lower-tier Subcontractors providing compliance with the following provisions:

1. A formal request along with the signed and executed copy of the subcontract from the Subcontractor should be made to the Contractor requesting such action. The request and subcontract must show the name and address of the proposed lower-tier Subcontractor, item number, item description, quantity, unit, price and amount.

2. The Contractor shall make written request on behalf of any lower-tier Subcontractor to the Department for approval.

3. The Contractor will be held responsible that all provisions and requirements for Federal Aid contracts and Non Federal Aid contracts are incorporated into each subcontract, regardless of tier, and for compliance with these provisions by his Subcontractors.

4. The Special Provisions included in all Federal Aid contracts stipulate that a DBE Subcontractor may enter into second-tier subcontracts which are consistent with normal industry practices. However, items which are second-tier subcontracted by a certified DBE Subcontractor will not be counted toward the participation goal unless:

A. The work is second-tier subcontracted to another certified DBE; or,

B. No more than 30 percent of the DBE subcontract is second-tier subcontracted to a Non-DBE.

1211-6 Subcontractor versus Supplier

Suppliers need not be authorized as a Subcontractor providing:

1. The supplier does not perform a function which is a part of the construction process itself, i.e., spraying asphalt onto the roadway, erection of bridge members, grading and compacting surface materials, etc.

2. The supplier does not establish a fabricating or processing facility expressly for the use of the project, i.e., direct use of a Department material pit for the project, relocation of processing plants where the project is the only recipient of the product, etc.

3. The supplier in producing and delivering materials does not perform any work on the project.

1211-7 Contractor versus Subcontractor

The ADOT Standard Specifications, Section 108.01 and the Federal Contract Provisions, Form FHWA 1273 (See Exhibit 1211-3 FHWA 1271 – Revised May 2012) of each contract spell out the subcontracting requirements for subletting a contract. These sections, in general, state there are only two options when it comes to the administration of a contract:

• The Contractor performs all of the work with its own organization, or • The Contractor sublets or assigns some portion of the work to another entity.

Any contract work not performed by the Contractor is considered a subcontract in the context of these requirements. This is explained in Section VII, Paragraph 4 where it says “No portion of the contract shall be sublet, assigned or otherwise disposed of”. This means any agreement (such as sublets, purchase orders, rental

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agreements) by the Contractor to have another company/party etc. perform contract work on the project is technically a subcontract, and as further stated in this section, written consent of this subcontract is needed prior to beginning work and the subcontract needs to include pertinent provisions and requirements of the Contractor’s contract.

A further clarification of Section VII, Paragraph 2 states “Its own organization shall be construed to include only workers employed and paid directly by the Prime Contractor and equipment owned or rented by the Prime Contractor, with or without operators.” The key to this statement is; who is paying the employees? In this case all of these employees are to be paid by the Contractor. This includes the obvious, their own employees, but also any operators that may come with a rental operator type agreement. If the employee under a rental operator agreement is not paid by the Contractor but is paid by the company the equipment was rented from, then this is technically work disposed of as discussed above, and is a subcontract.

The following are examples to further identify the Contractor/Subcontractor relationship:

• Situation - A bridge deck is poured with a concrete pump; the concrete is supplied by one company and the concrete pump is supplied by another. Is the concrete pump operation a subcontract?

If the concrete pump is supplied to the project without an operator then this is just rented equipment and a subcontract is not needed.

If the concrete pump is supplied with an operator then two scenarios can occur. If the operator is paid by the Contractor and shows on the Contractor’s payroll, then this is considered “its own organization” and a subcontract is not needed. If the operator is paid by the company that rents or leases the concrete pump, then this is work disposed of by the Contractor (someone else is performing work on the project) and a subcontract is required, and the Subcontractor is obligated to submit the certified payrolls. The subcontract itself would include both the rented equipment and the operator expenses.

• Situation - Trucking is taking place on the project site with rented trucks with operators, and with trucks that are owner-operators.

If the trucks are rented by the Contractor and the driver is an employee of and paid directly by the Contractor on their payrolls, then this is considered “its own organization” and is not a subcontract.

If the trucks are rented by the Contractor and the Contractor payroll shows these trucks on their payroll as owner-operator, then this is still considered “its own organization” and a subcontract is not needed.

If the Contractor rented the truck and pays another company directly for the truck and operator, and the other company pays the operator, then this is work disposed of by the Contractor, and a subcontract and certified payrolls are needed.

If the Subcontractor rents or acquires other trucks, and all of the drivers are employees of the subcontractor and show up on his payrolls, then no further action is required. However, if the Subcontractor rents trucks from another company, and this company pays for the operators, then this is technically a second tier subcontract and all of the subcontracting and certified payroll requirements apply.

1211-8 Unauthorized Subcontractors

If a subcontractor, of any tier, begins work on the contract prior to the contractor submitting the required documentation and receiving consent from the Engineer, the Department will withhold $1,000 from monies due or becoming due the contractor as liquidated damages. The liquidated damages will be withheld for each

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subcontractor, of any tier, that starts work without the consent of the Engineer. These liquidated damages shall be in addition to all other retention or liquidated damages provided for elsewhere in the contract.

If a subcontractor, of any tier, is found working on the project without an approved contract the Engineer will immediately stop work on the subcontract. Work shall not resume until all required documentation is submitted and approved by the Engineer. The contractor shall not be entitled to additional compensation or an extension of contract time for any delays to the work because of the contractor's failure to submit the required documentation.

Should a subcontractor, of any tier, begins working on the project prior to the Engineer's approval, the contractor shall submit a letter of explanation to the Engineer. The letter of explanation must include what occurred and what effort will be made to ensure that it does not occur in the future. Once the Engineer has given concurrence, a copy of the letter must be provided to Field Reports.

1211-9 Authorized Signature Form

An Authorized Signature Form (notarized) must be submitted to Contract Accounting, Mail Drop 204B for each Federal and Non Federal aid project.

Field Reports needs a copy of the Authorized Signature Form as well before any subcontracts can be approved to work on the project. This is usually submitted at the Pre-Construction Conference and can be scanned or e-mailed to Field Reports. When an employee is no longer authorized to sign or the level of authority has changed, a revised signature form must be submitted.

1211-10 Release of Retention

ADOT no longer withholds retention.

1211-11 Consultant Field Offices

Consultant Field Offices must provide Field Reports with a letter, prior to start of work, with the following information:

1. Physical office address, and phone number(s).

2. Resident Engineer for this project and his/her E-mail address.

3. Office Manager for this project and his/her E-mail address.

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Exhibit 1211-3a FHWA 1273 – Revised May 2012

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Exhibit 1211-3b FHWA 1273 – Revised May 2012

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Exhibit 1211-3c FHWA 1273 – Revised May 2012

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Exhibit 1211-3d FHWA 1273 – Revised May 2012

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Exhibit 1211-3e FHWA 1273 – Revised May 2012

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Exhibit 1211-3f FHWA 1273 – Revised May 2012

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Exhibit 1211-3g FHWA 1273 – Revised May 2012

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Exhibit 1211-3h FHWA 1273 – Revised May 2012

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Exhibit 1211-3i FHWA 1273 – Revised May 2012

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Exhibit 1211-3j FHWA 1273 – Revised May 2012

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Exhibit 1211-3k FHWA 1273 – Revised May 2012

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Exhibit 1211-3l FHWA 1273 – Revised May 2012

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Exhibit 1211-3m FHWA 1273 – Revised May 2012

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